Description:

Position Responsibilities:
A Global Leader in Financial Services Company is seeking a litigation attorney to handle a docket of arbitrations, civil litigations and regulatory enforcement investigations and inquiries for its Wealth Management business. This includes matters related to the Firm's broker-dealers, investment advisers, banks, digital platforms such as E*TRADE, and other entities. The position requires strong oral and written advocacy, analytical skills, creativity, and the ability to communicate effectively with clients, colleagues, and regulators. Candidates must be able to manage independently a large volume of diverse matters, including trial work before FINRA Dispute Resolution; regulatory enforcement matters, and investigations conducted by the SEC, FINRA, DOJ and state regulators; and occasional handling of court matters. Experience defending claims in trial and/or arbitration and handling regulatory enforcement matters is essential. This is a hands-on litigation position, but the attorney will also utilize a variety of outside counsel for certain matters. Success in this environment requires the candidate to be self-motivated, independent, and resourceful, as most matters are staffed and handled in-house with one lawyer, but also to work as part of a team. The attorney will interface with front office clients as well as partners in Legal, Compliance, Risk, Operations, Technology, and other departments at the Firm. The position includes administrative responsibilities for case management and other internal and external reporting related to matters.

Qualifications:
What You'll Do:

Litigate disputes in arbitration and state and federal courts, including responsibilities for strategy, case investigation, legal research, drafting and arguing motions, managing discovery, preparation of witnesses, and preparing and conducting arbitrations.
Handle SEC, FINRA, DOJ and state regulatory investigations and enforcement matters, including responsibilities for strategy, case investigation, interviewing and preparing witnesses, and drafting written responses to and interacting with regulators/government attorneys.
Represent A Global Leader in Financial Services Company and its current and former employees in FINRA arbitrations, court proceedings, mediations, and regulatory matters.
Analyze and evaluate litigation and/or regulatory risks and recommend solutions to manage and minimize those risks.
Provide legal advice on ad hoc matters to internal business clients, Legal, Compliance, Risk, Operations, Technology, and other departments at the Firm.
Analyze and escalate operational risks identified through litigation and regulatory investigations.
Collaborate cross-functionally with colleagues in Legal, Compliance, Risk, Operations, Technology, and other departments at the Firm.
Manage and partner with outside counsel in select litigation matters.
Conduct internal and external regulatory reporting.

What you bring:

Member of the California Bar.
4-8 years of litigation experience, preferably including experience at a top-tier law firm, government trial attorney, regulatory enforcement attorney or in-house counsel.
Significant experience working on trials, arbitrations, law and motion hearings, other hearing experience and/or mediations.
Regulatory investigations/enforcement experience and/or experience conducting internal investigations.
Work independently, as most matters are staffed with one lawyer.
Skilled and persuasive negotiator.
Strong oral and written advocacy skills.
Strategic, analytical thinker and creative problem solver.
Tenacious and determined.
Strong interpersonal skills with an ability to work with clients, colleagues, regulators, and counsel at every level.
Detail-oriented and organized with strong time and case management systems.
Handle a large volume of diverse matters with minimal support and direction.